Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service
Rules, ConditioRules, Conditions and Procedures for Appointment of Agents for Selling Investment ns and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of
Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds
1 24 August 2020 Subject : Notification on Resolution of the Board of Directors’ Meeting No.8/2020, Appointment of Directors in Replacement of Those who will Retire by Rotation, and Addition of
Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor
Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager
Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary
Practices Reporting Fees Related Circular Letter Ombudsmen Procedures Register of Ombudsmen Presented Certificate Ombudsmen Logo Related Circular Letter Appointment/Approval/Code of conducts and Standard